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Compliance Manager

3 months ago

Sydney, New South Wales, Australia Trading212 Full time

Our mission is to enable everyone to build wealth:
We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success.


Over the past few years, our client base has grown 20 times to over 2.5 million, and client assets have grown over 50 times to over €4 billion.


What you'll do:

  • Draft, modify, and implement the company's policies, procedures, and handbooks, as needed, to reflect industry best practices, the evolving regulatory environment, and business changes
  • Conducting regular compliance monitoring to ensure T212's meet its regulatory obligations.
  • Research, identify, and report on a wide variety of compliancerelated matters arising from the introduction of new legislation or best practices
  • Maintain oversight of the relevant Compliance registers
  • Providing compliance advisory, monitoring and training services (design & facilitation) to the Line 1 business on trading matters
  • Liaise with auditors/examiners during compliance audits/examinations as assigned.
  • Logging, investigating and assessing incidents and potential breaches
  • Assist in drafting compliancerelated reports for the authorities (ASIC, AUSTRAC, OAIC, etc.)

What you need to have:

  • A degree in Law, Commerce, Finance, or Economics
  • Minimum 23 years of experience in a compliance role, preferably in FinTech, Markets or Wealth Management
  • Demonstrate strong technical knowledge of various laws and regulatory obligations that relate to AFSLs, e.g. ASIC RGs, Corps Act, AML/CTF Act, and Privacy Act
  • Strong data analysis skills, with the capability to develop and write analytical reports
  • Strong stakeholder management skills
  • Highly developed verbal and written communication skills
  • The ability to work both independently and as part of a team, escalating challenges or concerns promptly and appropriately
  • Strong critical thinking and problemsolving skills
  • High energy for performance in a fastpaced environment with tight deadlines

What we offer:

  • Opportunities to tackle challenging projects and realise your potential
  • Work with a team of smart, spirited, and helpful highperformers
  • A flexible culture that values and appreciates talent and new ideas
  • Generous remuneration and social benefits packages
Are you ready to accelerate your career with us? We'd love to hear from you

All personal data of applicants is protected by the law and will be treated with strict confidentiality.